DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
L••••••••• C••••••
Legal name L••••••••• C••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Sep 26, 2018 · 25 filings
SEC status approved since Oct 29, 2018
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$157M as of Jul 7, 2026
Mar 26, 2019$780M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 7, 2026
Mar 26, 20193 then
Employees (5.A)8 as of Jul 7, 2026
Mar 26, 20196 then
Private funds4 as of Jul 7, 2026
Mar 26, 20191 then
RAUM +7.2% over the last fiscal year+4.9% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
- RAUM per advisor
- $78.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $31.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $102M, 1 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$157M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $102M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- R•••• R•••••• to T•• A•••••••• I•••May 15, 2019 · Other
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••••• I••••••••• F••• I• L• | Other Private Fund | $21.8M | 89 | Mar 29, 2022 |
| L•• I••••••••• F•••• L• | Other Private Fund | $19.3M | 81 | Feb 20, 2018 |
| L••••••••• I••••••••• F••• I•• L• | Other Private Fund | $11.0M | 36 | Aug 1, 2023 |
| L••••••••• L•••••••• F•••• L••no longer reported | Private Equity Fund | $0 | 2 | Sep 26, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••••• N••••• · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- M••••••••• R••••••• A•••• · Managing Member, Cio & Investment Advisor Representativecontrolsince 09/2018 · owns 50% to 75%
- F••••• L••••• C•••••• · Partner, Policy Manager, Investment Advisor Representativesince 03/2019 · owns less than 5%
Entity owners
- Q•••• C•••• P••••••••• C••••••••• · Financial Interest, Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- L••••••••• A•••••••investment advisernRAUM $286M
Advisers that list L••••••••• C•••••• as a related person
- 143379 n
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 4 to 5Jun 30, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Jun 30, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Jun 30, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 5Jun 30, 2025 to Mar 31, 2026
- Assets in custody · $91.6M to $102MJun 30, 2025 to Mar 31, 2026
- Financial planning clients · 0 to Jun 30, 2025 to Mar 31, 2026
- Other offices · 1 to 2Jun 30, 2025 to Mar 31, 2026
- Private funds · 3 to 4Jun 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $146M to $157MJun 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $146M to $157MJun 30, 2025 to Mar 31, 2026
- RAUM · $146M to $157MJun 30, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Jun 30, 2025
- Assets in custody · $94.5M to $91.6MOct 10, 2024 to Mar 26, 2025
- Employees · 7 to 8Oct 10, 2024 to Mar 26, 2025
- Discretionary RAUM · $144M to $146MOct 10, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $144M to $146MOct 10, 2024 to Mar 26, 2025
- RAUM · $144M to $146MOct 10, 2024 to Mar 26, 2025
- Accounts · 3 to 4Aug 1, 2023 to Mar 13, 2024
- Pooled vehicle clients · 3 to 4Aug 1, 2023 to Mar 13, 2024
- Discretionary RAUM · $136M to $144MAug 1, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $136M to $144MAug 1, 2023 to Mar 13, 2024
- RAUM · $136M to $144MAug 1, 2023 to Mar 13, 2024
- Private funds · 2 to 3Mar 30, 2023 to Aug 1, 2023
- Assets in custody · $0 to $94.5MNov 14, 2022 to Mar 30, 2023
- Employees · 6 to 7Nov 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $73.6M to $136MNov 14, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $73.6M to $136MNov 14, 2022 to Mar 30, 2023
- RAUM · $73.6M to $136MNov 14, 2022 to Mar 30, 2023
- Accounts · 1 to 3Mar 30, 2022 to Oct 18, 2022
- Pooled vehicle clients · 1 to 3Mar 30, 2022 to Oct 18, 2022
- Private funds · unset to 2Mar 30, 2022 to Oct 18, 2022
- Discretionary RAUM · $60.2M to $73.6MMar 30, 2022 to Oct 18, 2022
- Pooled vehicle RAUM · $60.2M to $73.6MMar 30, 2022 to Oct 18, 2022
- RAUM · $60.2M to $73.6MMar 30, 2022 to Oct 18, 2022
- Assets in custody · $50.1M to $0Mar 30, 2021 to Mar 14, 2022
- Employees · 5 to 6Mar 30, 2021 to Mar 14, 2022
- Other offices · 2 to 1Mar 30, 2021 to Mar 14, 2022
- Discretionary RAUM · $50.1M to $60.2MMar 30, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $50.1M to $60.2MMar 30, 2021 to Mar 14, 2022
- RAUM · $50.1M to $60.2MMar 30, 2021 to Mar 14, 2022
Signals
2 dated events
- L••••••••• C•••••• reported RAUM $78,000, down 100% from $780.0M (2019-03-26 to 2019-05-15)May 15, 2019 · RAUM change · derived
- L••••••••• C•••••• filed its initial SEC registration (Form ADV)Sep 26, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- L••••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/lotusgroup-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/lotus-group-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- lotusgroupcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720.593.9861reportedpublic record, Form ADV, Jul 7, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026